At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we offer opportunities not only to help you reach your potential but also to contribute to our clients’ achievements.

Come join us in delivering better outcomes for our clients around the world!

What is the Global Compliance – US Distribution group responsible for? 

Franklin Templeton’s Global Compliance team provides oversight and guidance to the various business teams who market FT’s suite of product solutions. 

What is the Sr. Compliance Analyst responsible for? 

The Senior Compliance Analyst will assist with various operational and procedural aspects related to Alternative and Private Investment offerings (such as client on-boarding and tracking/diligence of intermediary relationships). They will also review marketing material and advertisements for consistency with US and International regulatory standards, and company policies. Additionally, they offer guidance and training to marketing professionals on compliance issues and the creation of content that meets regulatory standards, thereby protecting the company's reputation and maintaining consumer trust.

What are the ongoing responsibilities of a Sr. Compliance Analyst? 

Assist with operational and procedural aspects of client on-boarding, intermediary relationships for Alternative/Private offering products 

Conduct spot checks of business units to verify adequate controls

Conduct thorough reviews of marketing materials to ensure compliance with all applicable regulations, including FINRA, SEC, and other relevant guidelines. 

Act as Registered Principal for marketing materials

Collaborate with the marketing and legal teams to provide guidance on regulatory requirements and compliance best practices. 

Serve as a resource to internal partners with inquiries regarding business communications

Assist in drafting compliance policies and procedures

Utilize technology to assist the firm in achieving an efficient marketing material review process

Assist in the preparation and submission of regulatory filings and reports as required. 

Conduct compliance training sessions for staff to promote awareness and adherence to regulatory standards. 

Maintain up-to-date knowledge of industry trends, regulations, and best practices. 

What ideal qualifications, skills & experience would help someone to be successful? 

Possess knowledge of financial services industry as well as financial instruments (mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts; with particular emphasis on Alternative investments such as private placements, digital assets, cryptocurrencies, and blockchain related investments) 

Series 7 and Series 24 preferred (or required to obtain after joining) 

Strong working knowledge of global securities laws, rules, and regulations relating to marketing material, especially related to SEC and FINRA marketing rules 

Minimum of 3 years of experience in a compliance role, with a focus in alternative investments, digital/crypto assets and pooled investments. 

Bachelor’s degree in Finance, Business, Law, or related field or equivalent experience 

Strong analytical and writing skills 

Proficiency with electronic document management software and systems 

Experienced in using Outlook, Excel, PowerPoint, Adobe, SharePoint 

Must demonstrate the willingness to learn and work within a team environment 

Ability to help troubleshoot and suggest process improvements 

Meticulous attention to detail, exceptional organizational skills and strong problem-solving abilities

Must possess ability to function in a demanding, fast-paced and multi-dimensional role 

High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic sales environment 

Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary—designed to support the whole person and to recognize their time, talents, and results. Along with base compensation, other compensation is offered such as a discretionary bonus, 401k plan, health insurance, and other perks. There are several factors taken into consideration in making compensation decisions including but not limited to location, job-related knowledge, skills, and experience. At Franklin Templeton, we apply a total reward philosophy where all aspects of compensation and benefits are taken into consideration in determining compensation. We expect the salary for this position to range between $100,000.00 - $120,000.00.

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Experience our welcoming culture and reach your professional and personal potential!

Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.

Hear more from our employees

By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton.

Highlights of our benefits include:

Three weeks paid time off the first year

Medical, dental and vision insurance

401(k) Retirement Plan with 85% company match on your pre-tax and/or Roth contributions, up to the IRS limits

Employee Stock Investment Program

Learning and Education Assistance Program (LEAP)

Purchase of company funds with no sales charge

Onsite fitness center and recreation center*

Onsite cafeteria*

*Only applicable at certain locations

Learn more about the wide range of benefits we offer at Franklin Templeton

Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation. 
 
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.